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Syndicate Legal Advisory Services provides nationwide legal document preparation services for officers, directors, and beneficial owners of more than 10% of a class of equity securities of public companies preparing Section 16 beneficial ownership reports under the Securities Exchange Act of 1934. We prepare Forms 3, 4, and 5 and related supporting materials based on the ownership and transaction information and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare documents associated with Section 16 filings, including:

  • Form 3 (Initial Statement of Beneficial Ownership of Securities): Completion of the initial report disclosing beneficial ownership of equity securities (non-derivative and derivative) as of the date the person becomes subject to Section 16, based on the information you supply.

  • Form 4 (Statement of Changes in Beneficial Ownership): Completion of the report disclosing changes in beneficial ownership resulting from reportable transactions, based on the transaction details you supply.

  • Form 5 (Annual Statement of Changes in Beneficial Ownership): Completion of the annual report disclosing certain exempt or previously unreported transactions and holdings, based on the information you supply.

  • Amendments: Preparation of amended forms incorporating updates or corrections, based on the corrected or updated details you provide.

  • Related Supporting Materials: Organization of any accompanying documentation or information referenced in the forms, based on the materials you supply.

 

Documents are prepared for electronic filing through the SEC’s EDGAR system. Forms 3, 4, and 5 are the reports required under Section 16(a) of the Exchange Act of officers, directors, and beneficial owners of more than 10% of a class of registered equity securities; Form 3 is generally due within 10 calendar days of becoming an insider (or by the effective date of a registration statement in certain cases); Form 4 is generally due within two business days of a reportable transaction; Form 5 is generally due within 45 calendar days after the issuer’s fiscal year-end for certain transactions; all filings are public; clients remain fully responsible for determining the filing obligation, the accuracy and completeness of all ownership and transaction information, timely EDGAR filing, and compliance with Section 16 and SEC requirements.

BIZ - CMR - SEC SECTION 16 FORMS

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DISCLAIMER: The information on this site is for informational purposes only and should not be taken as legal or financial advice. Requesting additional information or submitting information through this site or any contact form does not mean an attorney-client, or any other professional services provider-client relationship has been formed. Syndicate Legal Advisory Services is a legal advisory firm. As a legal advisory firm, Syndicate Legal Services provides guidance, analysis, compliance support, and strategic counsel on legal matters, but does not litigate, appear in court, or formally represent clients in legal proceedings.

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